Our Staff has compiled our research into a database of FINRA Broker Disclosures for Security Distributors. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Jessica Susan Sanchez | 6200149 | 2 | 01/07/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jessica Susan Sanchez | 6200149 | 2 | 11/29/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Yolanda Antonia Dominguez | 4844749 | 1 | 07/18/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Dan Nestel | 1339831 | 2 | 03/09/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Dan Nestel | 1339831 | 2 | 07/30/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brody Carl Schuler | 5968048 | 1 | 06/29/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Frank John Vargo | 4476400 | 2 | 11/05/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Nicole Kathryn Nantz | 6264441 | 1 | 05/08/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Frank John Vargo | 4476400 | 2 | 02/11/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Joseph Carr | 2833346 | 1 | 05/24/2001 | Customer Dispute | Denied | $11,500.00 | $0.00 | See FINRA Report |